State securities regulators doubled the number of enforcement cases brought against investment advisers last year as a tougher regulatory environment led investigators to focus on inappropriate advice or practices that could lead to investor fraud.
Carrier failed to reveal the negative impact of a growth cap on rider; agents also confused.
When she takes over the SEC this month, Elisse Walter will both celebrate the crowning achievement of her regulatory career and confront her biggest political headache.
Finra eyes requiring the disclosure of recruiting incentives to clients | <b>Sarch:</b> <a href=http://www.investmentnews.com/article/20121129/BLOG01/121129937>Transparency for bonuses? Bring it on! &raquo;</a>
More than $350K raised in sale of vintage Les Pauls, Strats; proceeds to go to investors scammed by Rand family
Legislation that would limit the scope of regulation requiring municipal advisers to register with the Securities and Exchange Commission sailed through a congressional panel Wednesday.
Regulator typically announces charges amid great fanfare but tends to bury its losers
Robert Langguth allegedly cheated more than 100 investors out of $16.7M
Mary Schapiro is nearly four years into her term as chairman of the Securities and Exchange Commission. Will she see a fifth? Speculation is that Ms. Ms. Schapiro is on her way out — probably of her own accord.
Claims Barthelemy Group exaggerated assets 'tenfold'
Financial advisers and broker-dealers can expect a re-energized Labor Department to step up enforcement actions and investigations next year, thanks to the election.
Says DOL's Borzi emphatic about pushing through new definition of fiduciary
Deal, predicts Schwab's top strategist, who thinks the fiscal cliff will be averted. But say goodbye to low cap gains rates. | <a href=http://www.investmentnews.com/article/20121113/FREE/121119974>Osterland: Bland, not grand, bargain would suffice</a> &raquo;
Small compromises and concession would likely help U.S. steer clear of fiscal cliff
SRO's NYC office closed due to storm
State regulators warn about con artists touting hurricane-related investments, other come-ons
